ANSI NISO Z39.83-1-2008 Circulation Interchange Part 1 Protocol (NCIP)《NISO流通交换.第1部分 协议(NCIP)》.pdf

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1、ANSI/NISO Z39.83-1-2008 ISSN: 1041-5653 NISO Circulation Interchange Part 1: Protocol (NCIP) Abstract: This Standard defines a protocol that is limited to the exchange of messages between and among computer-based applications to enable them to perform the functions necessary to lend and borrow items

2、, to provide controlled access to electronic resources, and to facilitate co-operative management of these functions. An American National Standard Developed by the National Information Standards Organization Approved November 11, 2008 by the American National Standards Institute Published by:NISO,

3、Baltimore, Maryland, U.S.A.About NISO Standards NISO standards are developed by Working Groups of the National Information Standards Organization. The development process is a strenuous one that includes a rigorous peer review of proposed standards open to each NISO Voting Member and any other inter

4、ested party. Final approval of the standard involves verification by the American National Standards Institute that its requirements for due process, consensus, and other approval criteria have been met by NISO. Once verified and approved, NISO Standards also become American National Standards. This

5、 standard may be revised or withdrawn at any time. For current information on the status of this standard contact the NISO office or visit the NISO website at: http:/www.niso.org Published by NISO One North Charles Street Suite 1905 Baltimore, MD 21201 www.niso.org Copyright 2008 by the National Inf

6、ormation Standards Organization All rights reserved under International and Pan-American Copyright Conventions. For noncommercial purposes only, this publication may be reproduced or transmitted in any form or by any means without prior permission in writing from the publisher, provided it is reprod

7、uced accurately, the source of the material is identified, and the NISO copyright status is acknowledged. All inquires regarding translations into other languages or commercial reproduction or distribution should be addressed to: NISO, One North Charles Street, Suite 1905, Baltimore, MD 21201. Print

8、ed in the United States of America ISSN: 1041-5653 (National Information Standards Series) ISBN: 978-1-880124-77-2 ANSI/NISO Z39.83-1-2008 i Contents Foreword iii 1 Purpose. 1 2 Scope. 1 3 Normative References . 2 4 Definitions. 2 4.1 Notational Convention . 3 5 Definition of NCIP Service Types, Ser

9、vices, and Messages 3 5.1 Object Classes and Object Definitions 4 5.1.1 Agency Object 4 5.1.2 Item Object. 4 5.1.3 User Object 5 5.2 Summary of Service Types and Associated Services. 5 5.3 Lookup Service Type. 7 5.3.1 Lookup Agency Service . 7 5.3.2 Lookup Item Service 8 5.3.3 Lookup Request Service

10、 8 5.3.4 Lookup User Service 9 5.3.5 Lookup Version Service . 10 5.4 Update Service Type . 11 5.4.1 Accept Item Service . 12 5.4.2 Check In Item Service 13 5.4.3 Check Out Item Service . 13 5.4.4 Undo Check Out Item Service . 14 5.4.5 Create Agency Service 15 5.4.6 Create Item Service . 15 5.4.7 Cre

11、ate User Service. 16 5.4.8 Create User Fiscal Transaction Service 17 5.4.9 Delete Item Service 17 5.4.10 Delete User Service . 18 5.4.11 Recall Item Service 18 5.4.12 Cancel Recall Item Service 19 5.4.13 Renew Item Service. 19 5.4.14 Report Circulation Status Change Service 20 5.4.15 Request Item Se

12、rvice. 21 5.4.16 Cancel Request Item Service 22 5.4.17 Send User Notice Service 23 5.4.18 Update Agency Service . 24 5.4.19 Update Circulation Status Service . 24 5.4.20 Update Item Service 25 5.4.21 Update Request Item Service 25 5.4.22 Update User Service 26 5.5 Notification Service Type. 27 5.5.1

13、 Agency Created Service 27 5.5.2 Agency Updated Service . 28 5.5.3 Circulation Status Change Reported Service 28 ANSI/NISO Z39.83-1-2008 ii 5.5.4 Circulation Status Updated Service29 5.5.5 Item Checked In Service 29 5.5.6 Item Checked Out Service30 5.5.7 Item Created Service30 5.5.8 Item Recall Canc

14、elled Service .31 5.5.9 Item Recalled Service.31 5.5.10 Item Received Service32 5.5.11 Item Renewed Service .33 5.5.12 Item Request Cancelled Service 33 5.5.13 Item Request Updated Service 34 5.5.14 Item Requested Service .34 5.5.15 Item Shipped Service .35 5.5.16 Item Updated Service.36 5.5.17 User

15、 Created Service .36 5.5.18 User Fiscal Transaction Created Service.37 5.5.19 User Notice Sent Service .37 5.5.20 User Updated Service 38 6 Data Dictionary .38 6.1 Introduction 38 6.2 Data Elements and their Definitions.39 6.2.1 Data Types .39 6.2.2 Required Usage39 6.3 The Data Dictionary .40 6.4 S

16、ample Lists of Values.72 7 State Table Governing Messaging over a Single Connection .72 8 Standard Message Headers and Versioning .75 9 Profiles.75 9.1 Rules for Profile Definition .76 9.2 Implementation Profile .76 Appendix A (normative) Definitions of Values for Use within the “Problem“ Data Eleme

17、nt .77 Appendix B (informative) Lists of Values for Data Elements85 Appendix C (informative) Implementation Profile Template 86 Appendix D (informative) Application Profile Template .88 Appendix E (informative) Relationship between This Standard and Associated Profiles .94 Appendix F (informative) D

18、esignation of Maintenance Agency and Registration Authority 96 Appendix G (informative) Alphabetical List of Data Elements and Their Location in the Data Dictionary (Section 6.3) .98 Bibliography 101 ANSI/NISO Z39.83-1-2008 iii Foreword (This foreword is not part of the NISO Circulation Interchange,

19、 Part 1: Protocol, ANSI/NISO Z39.83-1-2008. It is included for information only.) About This Standard The NCIP Standards Development Process The original NISO standard development committee, comprising individuals who represent libraries and other organizations that use circulation applications and

20、providers that develop and sell those applications, began its work in January of 1999. At key stages throughout the process the committee reached out to the community for comment through announcements on key online discussion lists, through appearances at conferences, and by presentations to key sta

21、ndards groups like the Z39.50 Implementors Group (ZIG) and the ISO ILL Protocol Implementors Group (IPIG). The committee also took up the task of developing and finalizing an Implementation Profile using XML for message encoding and a DTD to encapsulate the structure. In January 2001, NISO published

22、 the Standard (Protocol and Implementation Profile 1) as a Draft Standard for Trial Use. Several organizations undertook serious implementation efforts that guided changes to the Draft Standard and heightened the committees awareness that application profiles were an absolute necessity. For most of

23、2001, the committee focused on developing a structure for these profiles and developing a series of profiles. The final two-part standard was approved and published in October 2002 along with several application profiles and a version 1.0 DTD and version 1.0 schema. A NCIP Implementers Group (NCIP-I

24、G) was formed and a NCIP Maintenance Agency (MA) was appointed by NISO. In 2007, when the standard was due for its five-year review, the NCIP-IG and MA proposed that the standard be revised. The Implementers Group working on version 2 started from a position of wanting to address the perceived hurdl

25、es hindering widespread adoption of NCIP. One of the major hurdles came from the self-service area, where assumptions basic to NCIP message construction were counter to the required workflow. Over the span of 2007-08, the group wrestled with both problems and solutions. It believes that the resultin

26、g version 2 meets the professed goals of simplification, streamlining, extensibility, and more attention to self-service needs. Changes in Version 2 Version 2 includes radical changes to the protocol. It is not backward compatible with version 1, as it is based solely on an XML Schema. The version 2

27、 changes build on changes made since original publication of NCIP and known collectively (if inaccurately) as version 1.01, the version several implementers are already using. There are a few other changes that also break backward compatibility. The most significant are in error handling and extensi

28、bility. The NCIP-IG approached revision of NCIP with five primary motivations: correct reported defects, address issues reported by broker applications, address issues reported by self-service applications, provide new needed features, and streamline/simplify wherever possible. The following list su

29、mmarizes the major changes in this revision, grouped under those five main headings. 1. Streamline/simplify a) XML Schema is the sole definition for the initiation and response messages which comprise the NISO Circulation Interchange Protocol. b) Removed “Visible User Id” and “Visible Item Id” and t

30、heir associated child elements. c) Removed the “User Transaction” element and promoted its child elements within “Lookup User Response”. d) The prefix “Unique” was removed from all such named elements. e) The “Authenticate User” service was removed. ANSI/NISO Z39.83-1-2008 iv f) Converted all Enumer

31、ations from Scheme/Value pairs to strings with optional scheme attribute. g) Removed “Unknown Service”. 2. New Features a) The wrapper element “Ext” was added within outer level messages to provide extensibility. b) Error handling was completely re-imagined as a Problem choice within NCIPMessage. c)

32、 Added “Item Optional Fields” to “Request Item” and added “Number Of Pieces” to “Item Description”. d) Added a section giving a suggestion on optional compression. e) Added new data element “Pickup Location” and added it everywhere “Pickup Expiry” occurs. f) Added an XML namespace as an optional par

33、t of the message headers. g) Added “From Agency Id” and “To Agency Id”. h) Added “Request Element Type”. 3. Self-Service Issues a) The “Initiation Header” and “Response Header” are now optional wherever they appear. b) Added new “Previous User Id” element as part of “User Optional Fields” within “Lo

34、okup User Response”. c) Added optional “Title” and “Medium Type” elements within “Loaned Item” and “Requested Item”. d) “Agency Id” becomes optional within “Item Id”, “User Id”, and “Request Id”. 4. Broker Issues a) Two new services, “Delete Item” and “Delete User”, were added. b) Added an optional

35、“Name Information” to “Routing Information”. c) Added new optional “Item Identifier Type”, “Request Identifier Type”, “User Identifier Type” to their associated parent elements. d) Added a note about the need to translate “Agency Ids” among partners. e) Added “Pickup Expiry” and (new) “Pickup Locati

36、on” to “Accept Item”. 5. Defects a) Corrected case in value “Cannot Guarantee Restrictions On Use”. b) Corrected erroneous exception statement in “Electronic Address” and “Physical Address” under “Agency Address Information”. c) Corrected service cited in “Electronic Resource Provided Flag” to be “I

37、tem Checked Out Service”. d) Added “Sensitive Data Flag” to Index. A complete change list for version 2 (including the incorporated changes from version 1.01) is posted on the NCIP website: www.ncip.info. ANSI/NISO Z39.83-1-2008 v Trademarks, Service Marks Wherever used in this standard, all terms t

38、hat are trademarks or service marks are and remain the property of their respective owners. NISO Voting Members At the time NISO approved this standard, the following organizations were voting members. 3M AIIM ARMA International American Association of Law Libraries American Library Association Amer

39、ican Psychological Association American Society for Indexing American Society for Information Science the most current version of these standards should be used. IANA, MIME Media Types ISO 4217, Codes for the representation of currencies and funds ISO 8601, Data elements and interchange formats - In

40、formation interchange - Representation of dates and times 4 Definitions The following terms, as used in this standard, have the meanings indicated. Term Definition Agency An organization that lends items or provides other services to users. The relationship between agency and user and between agency

41、 and item is reflected in the fact that the identifiers for both item and user contain an agency identifier. Agencies have rules and policies that govern services. Application Computer software developed to: a) perform the functions necessary to lend and borrow items; b) provide controlled access to

42、 electronic resources; and, c) facilitate co-operative management of these functions. An application is a software/hardware agent that initiates an NCIP request or responds to such a request. It is somewhat analogous to a staff person who is employed by an agency in that it takes action on behalf of

43、 the agency in helping a user of the agency or in responding to a request made by the agency. Item A specific physical or electronic information resource belonging to an agencys collection(s). NCIP NISO Circulation Interchange Part 1: Protocol; the protocol specified in this Standard. Object Class T

44、he abstract essence of an object. This Standard defines three object classes: Agency Object, Item Object, and User Object. Object Instance A concrete instance of an object class. An object class may be instantiated with particular data, functionality, and relationships. Profile An agreed-upon docume

45、nt that identifies a standard or group of standards, together with options and parameters, necessary to accomplish a function or set of functions. ANSI/NISO Z39.83-1-2008 3 Term Definition Protocol A set of formal rules governing the transmission of data across a network. Application level protocols

46、 deal with data formatting, including the syntax of messages, application to application dialogue, character sets, sequencing of messages, etc. Service A message pair consisting of an initiation and a response message that provides specific functionality with respect to the exchange of data related

47、to circulation activities. Standard The formal documents (2) adopted by the voting members of NISO. Standard Protocol The protocol (NCIP) specified in this Standard, unless context indicates otherwise. System A computer running an application that is able to send or receive NCIP messages and has a u

48、nique network address. For example, TCP/IP address would include both the computers network address and the port number. User The entity (person or organization) that will use an item (or service) provided by an agency. 4.1 Notational Convention The key words “must“, “must not“, “required“, “shall“,

49、 “shall not“, “should“, “should not“, “recommended“, “may“, and “optional“ in this standard are to be interpreted as described in IETF RFC2119 5 Definition of NCIP Service Types, Services, and Messages This Standard defines three types of services: Lookup, Update, and Notification. Each service type is composed of a number of services. NCIP services enable communicating applications to cooperate effectively in the delivery of specific services to users of agencies that wish to offer such services. The protocol (NCIP) specified in this Standard is a confirmed-service protocol. It uses